Personnel SFC Licences and HKMA Registrations (ID 2276364)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
HSBC Corporate Finance (Hong Kong) Limited	RO	Advising on corporate finance	2024-04-12	-
	Rep	Advising on corporate finance	2023-10-24	2024-04-12
GOLDMAN SACHS (ASIA) L.L.C.	RO	Advising on corporate finance	2019-04-01	2022-10-01
	RO	Dealing in securities	2019-04-01	2022-10-01
	Rep	Advising on corporate finance	2017-10-06	2019-04-01
	Rep	Dealing in securities	2017-10-06	2019-04-01
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2014-06-03	2017-04-28

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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